MEMORANDUM DECISION Pursuant to Ind. Appellate Rule 65(D), this Memorandum Decision shall not be regarded as precedent or cited before any FILED court except for the purpose of establishing Aug 18 2017, 5:50 am
the defense of res judicata, collateral CLERK Indiana Supreme Court estoppel, or the law of the case. Court of Appeals and Tax Court
ATTORNEY FOR APPELLANT ATTORNEYS FOR APPELLEE A.P. (MOTHER) Curtis T. Hill, Jr. Danielle L. Gregory Attorney General of Indiana Indianapolis, Indiana David E. Corey Deputy Attorney General ATTORNEY FOR APPELLANT Indianapolis, Indiana A.P. (FATHER) Steven J. Halbert Indianapolis, Indiana
IN THE COURT OF APPEALS OF INDIANA
In re the Matter of: N.P., L.P., August 18, 2017 B.P., and C.P, (Minor Children), Court of Appeals Case No. 49A04-1703-JC-446 A.P. (Mother) and A.P. (Father), Appeal from the Marion Superior Appellants-Respondents, Court v. The Honorable Marilyn J. Moores, Judge The Indiana Department of Trial Court Cause No. Child Services, 49D09-1608-JC-3164 49D09-1608-JC-3165 Appellee-Petitioner 49D09-1608-JC-3166 49D09-1608-JC-3167
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 1 of 16 Vaidik, Chief Judge.
Case Summary [1] As.P. (“Mother”) and Au.P. (“Father”) have four children, who were removed
from the family home after the Department of Child Services (DCS) received a
report of neglect. DCS alleged that the children were in need of services
(CHINS) because of the conditions at the home. Mother and Father contested
the allegations, and a fact-finding hearing was held. During the hearing, DCS
introduced evidence, over Mother’s and Father’s objections, regarding the
parents’ mental health, which was not part of the petition. Mother and Father
presented evidence that they had remedied the housing situation. Nevertheless,
the trial court adjudicated the children CHINS. Mother and Father appeal,
arguing that they were not placed on notice to defend mental-health allegations
and that even if the mental-health evidence was properly admitted, the evidence
is insufficient to support the adjudications. We agree and reverse.
Facts and Procedural History [2] Mother and Father have four children: N.P., born in January 2009; L.P., born
in June 2010; B.P., born in January 2012; and C.P., born in July 2013. During
August 2016, Mother and Father struggled to pay their bills and sought out
financial help from community organizations, but they were unsuccessful in
getting the aid the family needed. On August 23, Marion County DCS received
a report of child neglect, alleging that Mother and Father did not have running
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 2 of 16 water in their home. Korrie Frick, an assessment manager with DCS, went to
the home to investigate the report and found that the house did not have
running water, had a strong odor of urine and feces, and had only one twin bed
for the four children. Father told Frick that he and Mother had been involved
with Indiana DCS in the past, as well as Child Protective Services (CPS) in
New Mexico, but all of the claims were unsubstantiated. Frick informed Father
that she would be back the following day to interview the children. Frick did
not seek to have the children removed from the home at that time because there
were not “any immediate safety concerns facing the children.” Tr. p. 14.
[3] At some point after Frick’s initial visit, Mother transported the children to a
relative’s home in Pennsylvania, so when Frick returned to the house the
following day, the children were not there. Having learned that the children
were now residing out of state, DCS petitioned the trial court to give DCS
permission to take the children into custody and for the court to declare the
children CHINS. DCS alleged, under Indiana Code section 31-34-1-1, that the
children were CHINS because:
The [children’s] physical or mental condition is seriously impaired or seriously endangered as a result of the inability, refusal, or neglect of the [children’s] parent, guardian, or custodian to supply the [children] with necessary food, clothing, shelter, medical care, education, or supervision; and the [children] need[] care, treatment, or rehabilitation that the [children are] not receiving; and is unlikely to be provided or accepted without the coercive intervention of the Court.
*****
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 3 of 16 This petition is based upon, and is supported by, the following alleged material facts:
a. [Mother] and [Father], parents of [N.P.], [L.P.], [B.P.], and [C.P.], have failed to provide the children with a safe, stable, and appropriate living environment.
b. The home was observed to be unsanitary and cluttered with a strong odor of animal feces.
c. There was also no working water in the home, and all four children share one twin size mattress.
d. [Mother] reportedly left with the children, and [DCS] is unable to ensure their safety in her care.
e. The children and family are in need of services they are not receiving and are unlikely to receive without the DCS’ and the Court’s involvement, and the coercive intervention of the Court is required to ensure the children’s safety and well being.
Appellants’ App. p. 42.1
[4] On August 25, the trial court issued a preliminary order declaring the children
CHINS and granted DCS’s request to take custody of the children. The court
ordered the parents to return the children to Indiana by 5:00 p.m. on August 26.
Because the children had been moved out of state, the court also ordered
1 Mother and Father are represented by separate attorneys on appeal, and each filed a separate appendix. However the appendices appear to be duplicates. Accordingly, their filings will be cited as one appendix: Appellants’ Appendix.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 4 of 16 Mother and Father to have supervised visits with the children. The court
further ordered Mother and Father to comply with all DCS recommendations,
which included home-based therapy and home-based case management.
Home-based case management is used to help families maintain their housing,
find employment, and budget their money. Tr. p. 17. The home-based case-
management service provider also served as the supervisor for the parents with
the children.
[5] Mother and Father were unable to get the children back to Indiana by the
deadline, so Frick flew to Pennsylvania to retrieve them. The children were
originally placed in a foster home in Gary because no foster home in the
Indianapolis area could take them. Three weeks later, DCS was able to move
the children to a foster home in Indianapolis. When the children arrived in
Indianapolis, it was discovered that they had lice.
[6] Mother and Father contested the petition and preliminary order declaring the
children CHINS. A fact-finding hearing was held on November 29, 2016.
During the hearing, the court heard testimony that Mother and Father had
moved to a new apartment, that Father had been working since the beginning
of September, and that Mother had been working for a voter-registration group,
although her employment had ended on election day, November 8. The new
apartment had two bedrooms, and two children would sleep in each room, with
Mother and Father sleeping in the living room. Rent, including utilities, was
$275 per week, which Father’s paycheck covered. Mother and Father had beds
for all four children, all utilities were working, and there was ample food in the
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 5 of 16 house. Under DCS’s standards, the apartment was “small” but “appropriate.”
Id. at 31, 38, 46. Mother and Father found the apartment without DCS’s
assistance.
[7] Regarding employment, Father had started a job at a local distribution center,
working from 8:00 a.m. to 4:00 p.m. Father located and obtained his
employment without DCS’s help. In fact, Father was waiting on the results of a
pre-employment drug screen and background check when DCS began its
investigation into the family. Based on her supervisor’s feedback, Mother had
been hopeful that she would be hired on full-time with the voter-registration
group, but no employment offer was made. At the time of the hearing, she had
been out of work for three weeks but had multiple job leads. She was “trying to
find a job that works different hours than my husband so that we can parent our
children” and eliminate the need for childcare expenses. Id. at 58.
[8] The home-based caseworker stated that she supervised Mother’s and Father’s
visits with the children and that Mother is “bonded with the kids, she’s
nurturing, she’s empathetic, she’s engaged in her visits from start to finish. . . . I
don’t have any concerns of – with regards to safety.” Id. at 48. She stated that
Father was “relaxed” during the Thanksgiving visit with the children and could
have been more hands-on. Id. at 43-44. She also testified that Mother and
Father were inconsistent with their visits. Visits were set up for twice a week:
four hours on Sundays and eight hours on Tuesdays. However, the Tuesday
visitation schedule overlapped with Mother’s and Father’s work schedules.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 6 of 16 Recognizing the conflict, DCS permitted the parents to have phone calls with
the children, but Mother and Father called only once.
[9] During a home-based case-management session, Mother disclosed that she had
been diagnosed with mental-health issues: bi-polar disorder, ADD, PTSD, and
dissociative disorder. She also disclosed that she had not seen a doctor about
these issues in over two years and was self-medicating with marijuana. The
home-based caseworker testified to Mother’s mental-health issues in relation to
Mother’s concerns that they would be a hurdle for finding employment.
Neither Mother nor Father objected to this testimony.
[10] The home-based caseworker also testified that Mother told her that Father had
also been diagnosed as bi-polar, a statement Mother denied making. Both the
family case manager and the home-based caseworker testified about Mother’s
and Father’s mental health and how it impacted their parenting. During this
testimony, both Mother and Father objected:
[T]here’s nothing in the petition indicating mental health issues of the parents[.] . . . The petition really only focuses on the issue of the home and employment. This case has been open since August, the Department could have moved to amend that petition so we would be on notice for that argument.
Id. at 22-23; see also id. at 39. The trial court overruled the objections.
[11] At the conclusion of the hearing, the trial court affirmed its preliminary order
and declared the children CHINS. It entered findings to support its order,
which include:
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 7 of 16 9. Parents had prior CPS involvement while they lived in New Mexico[2] and had numerous prior [un]substantiated[3] reports of dirty homes and educational neglect of the children.
14. Mother told her homebased case manager Monica Lawrence that she has been diagnosed with bi-polar disorder, dissociative disorder, attention deficit disorder and PTSD and that she has not been seen by a psychiatrist in 2.5 years. Mother stated that she thought these conditions might be an impediment to employment. She also told Ms. Lawrence she was self medicating with marijuana and had consumed such less than two (2) weeks prior to their meeting. Mother also stated Father had bi-polar disorder.
15. Father is employed at [a distribution] warehouse, but his income alone is insufficient to sustain all the family’s needs.
17. The parents have demonstrated a history of employment and housing instability, as well as untreated mental health issues and the children’s physical or mental conditions are seriously impaired or seriously endangered as a result of the inability, refusal, or neglect of the children’s parents to supply the children with necessary food, clothing, shelter, medical care, education, and supervision; and the children need care [and] treatment[] that
2 No evidence was introduced during the fact-finding hearing regarding Mother’s and Father’s involvement with CPS in New Mexico other than Father’s statement to DCS manager Frick. 3 The original finding read “numerous prior substantiated reports.” On appeal, DCS acknowledges that this was a scrivener’s error because no evidence was presented showing that any prior claims of abuse or neglect were substantiated. Appellee’s Br. p. 29.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 8 of 16 they are not receiving; and are unlikely to be provided or accepted without the coercive intervention of the Court.
Appellants’ App. pp. 93-94. The court also entered a dispositional decree, in
which Mother and Father were ordered to continue with home-based therapy,
provide random drug screens, and undergo a psychological evaluation. Id. at
108-09. Father was also ordered to participate in the Father Engagement
Program, id. at 108, and Mother was ordered to continue with home-based case
management, id. at 109.
[12] Mother and Father both appeal.
Discussion and Decision [13] Mother and Father contend4 that the trial court erred in adjudicating the
children CHINS because DCS did not amend its petition to include mental-
health allegations, and the evidence is insufficient to support the trial court’s
order.
[14] To prove a CHINS allegation, DCS must show, by a preponderance of the
evidence, that: (1) the children are under the age of eighteen; (2) one of eleven
different statutory circumstances exists that would make the children CHINS;
and (3) the children need care, treatment, or rehabilitation that they are
currently not receiving and are unlikely to be provided or accepted without the
4 Mother and Father filed separate briefs on appeal. We consolidate their arguments and address them as one.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 9 of 16 coercive intervention of the court. In re K.D., 962 N.E.2d 1249, 1253 (Ind.
2012); see Ind. Code §§ 31-34-1-1 to -11. Here, the trial court adjudicated the
children CHINS under Section 1, which states in part:
A child is a child in need of services if before the child becomes eighteen (18) years of age [] the child’s physical or mental condition is seriously impaired or seriously endangered as a result of the inability, refusal, or neglect of the child’s parent, guardian, or custodian to supply the child with necessary food, clothing, shelter, medical care, education, or supervision[.]
Ind. Code § 31-34-1-1(1).
I. Mental-Health Evidence [15] Mother and Father argue that they were never put on notice that they needed to
defend allegations regarding their mental health.5 Mother and Father contend
that the CHINS petition was based solely on the conditions of the house and
that DCS should have amended its petition if it wanted to include mental-health
issues. In response, DCS contends that Mother and Father did not timely
object to testimony about their mental health and have waived the issue under
Indiana Trial Rule 15(B).
[16] A CHINS petition, in part, must contain “[a] concise statement of the facts
upon which the allegations are based, including the date and location at which
5 Mother and Father also argue that the evidence regarding their mental health was improperly admitted during the fact-finding hearing because it was based on hearsay statements. Because we find that the evidence was improperly admitted on other grounds, we do not address this argument.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 10 of 16 the alleged facts occurred.” Ind. Code § 31-34-9-3(C). “Presumably, these
provisions were enacted to give the child’s parent, guardian or custodian notice
of the allegations and the opportunity to contradict the [DCS] case.” Maybaum
v. Putnam Cty. Office of Family & Children, 723 N.E.2d 951, 954 (Ind. Ct. App.
2000); see also Ind. Code § 31-32-2-3 (stating that in CHINS proceedings a
parent is entitled to cross-examine witnesses, obtain witnesses or tangible
evidence by compulsory process and to introduce evidence on his behalf).
“Therefore the CHINS petition is an integral part of ensuring that the parents
have notice of the allegations and an opportunity to contradict [DCS’s]
evidence.” Id.
[17] However, parties may expressly or impliedly consent to trying the unpled issue
under Indiana Trial Rule 15(B), which is applicable in CHINS proceedings.6
The rule states, in relevant part, “When issues not raised by the pleadings are
tried by express or implied consent of the parties, they shall be treated in all
respects as if they had been raised in the pleadings.” Ind. Trial Rule 15(B). If a
party raises an objection at trial on the grounds that the evidence is not within
the pleadings, the court “may allow the pleadings to be amended” or “may
grant a continuance to enable the objecting party to meet such evidence.” Id.
[18] Upon review of the record, at no time did DCS expressly inform Mother or
Father that it would deviate from the CHINS petition and include evidence of
6 Indiana Code section 31-32-1-3 states that “the Indiana Rules of Trial Procedure apply in all matters not covered by the juvenile law.”
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 11 of 16 the parents’ mental-health status. Accordingly, DCS could only raise the issue
at the hearing if Mother and Father impliedly consented. DCS argues that
Mother and Father did consent because no objection was raised during the
family case manager’s testimony that Mother was referred to home-based
therapy because she disclosed a history of mental-health problems. See Tr. p.
18. However, a few minutes later, when the family case manager brought up
the parents’ mental health as a reason why the children should be adjudicated
CHINS, Father’s attorney objected, “I’m going to, sorry for interrupting after
letting her talk for a while, but I was looking at the petition and there’s nothing
in the petition indicating mental health issues of the parents are the basis for
CHINS[.]” Id. at 22. Mother’s attorney joined the objection. Furthermore,
when the home-based caseworker mentioned the parents’ mental health as a
reason for continued supervised visits, the parents again objected to the
testimony. See id. at 39-40.
[19] While DCS is correct in its assertion that neither parent objected when the
family case manager first brought up the issue of mental health, we find that
this testimony is readily distinguishable from the later testimony. The initial
testimony specifically dealt with the services that DCS was providing Mother
and Father; it did not go into why the court should adjudicate the children
CHINS like the later testimony did. Mother and Father did not impliedly
consent to their mental health being tried.
[20] DCS further contends that the court properly admitted the mental-health
testimony because the court is to consider “the family’s condition not just when
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 12 of 16 the case was filed, but also when it [was] heard.” Appellee’s Br. p. 19 (quoting
In re S.D., 2 N.E.3d 1283, 1290 (Ind. 2014)). While we agree that the court is to
consider the family’s condition at the time of trial, this does not circumvent our
notice requirements. DCS has an obligation to amend its pleadings to include
any new allegation(s) that arise between the initial hearing and the fact-finding
hearing. Mother and Father were not properly notified that they needed to
defend against mental-health allegations during the fact-finding hearing.
Because of this, the court erred when it permitted DCS’s witnesses to testify
about the parents’ mental health.
II. Sufficiency of the Evidence [21] Mother and Father also argue that the evidence is insufficient to support the
CHINS ruling. They contend that the issue stated in the petition—substandard
housing—was cured by the time of the fact-finding hearing, and therefore, the
children should have been returned to their care. When the trial court enters
findings of fact and conclusions, we apply a two-tiered standard of review.
Matter of D.P., 72 N.E.3d 976, 979 (Ind. Ct. App. 2017). We first determine
whether the evidence supports the findings, and then determine if the findings
support the judgment. Id. at 980. We do not reweigh the evidence or reassess
witness credibility and will consider only the evidence favorable to the trial
court’s judgment. Id. at 979.
[22] The CHINS petition alleged that the children needed to be removed from the
home because Mother and Father “have failed to provide the children with a
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 13 of 16 safe, stable, and appropriate living environment.” Appellants’ App. p. 42. The
petition further stated that the home smelled of urine and feces, had no running
water, and “all four children share one twin size mattress.” Id. Despite these
allegations, DCS manager Frick stated that she did not feel the need to remove
the children from the home after her first visit because there was no immediate
threat to the children’s safety. Tr. p. 14. The children were only removed after
DCS learned that Mother had transported the children to relatives living out of
state. Shortly thereafter, both Mother and Father were employed and had
moved to a new apartment. The new home had working utilities, food, and
beds for all four children. Under DCS’s standards, the apartment was “small”
but “appropriate.” Id. at 31, 38, 46.
[23] When questioned about any on-going safety concerns for the children, the
family case manager only mentioned the parents’ ability to financially support
the children. “[T]here was no electricity, I mean – I’m sorry, water and the
house was very filthy and there were – I’m concerned about their employment,
so for them to be able to maintain stable housing. The children had lice twice.”
Id. at 25-26. We do not share these concerns. DCS did not present any
evidence that the children contracted lice from the parents’ home. Rather, the
timing of the lice discoveries is such that the children may have contracted the
lice while in DCS’s custody. Furthermore, Mother and Father were able to pay
rent based solely on Father’s income, as he was the only one working at the
time of the hearing, and the parents had moved to an apartment that was
satisfactory under DCS’s standards. We must be very careful not to adjudicate
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 14 of 16 children as CHINS “because the parents in question do not fit into a class-based
notion of what a parent should be. The judiciary, prosecutors and the
personnel in the welfare departments should not enforce their personal
standards on those who are less well off.” Matter of D.T., 547 N.E.2d 278, 285
(Ind. Ct. App. 1989) (citing Matter of Dull, 521 N.E.2d 972, 977 (Ind. Ct. App.
1988) (Sullivan, J., dissenting)).
[24] DCS argues that the parents need the coercive intervention of the court for the
children to get the services they need. We disagree. To support its contention,
DCS points to the fact that the parents were unsuccessful in obtaining aid from
local resources, that Mother took the children to Pennsylvania to live with
relatives, and that Mother self-medicates for her mental-health issues. Before
DCS’s involvement, Mother and Father recognized that they needed financial
help and sought aid from local resources. If anything, this is an example of
Mother and Father doing what is necessary for their family without the
coercive intervention of the court. Mother’s decision to move the children out
of state after Frick’s first visit was ill-advised. Nevertheless, the children were
returned to Indiana, and DCS was able to complete its initial investigation.
None of DCS’s concerns about the children or their safety in Mother’s care
were substantiated. When specifically questioned about concerns she had for
the children’s safety while with Mother, the home-based caseworker stated, “I
don’t have any concerns of – with regards to safety.” Tr. p. 48. DCS has failed
to show why the continued coercive intervention of the court is necessary.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 15 of 16 Accordingly, we find that the evidence does not support the trial court’s order
and reverse the CHINS adjudications.
[25] Reversed.
Mathias, J.,and Crone, J., concur.
Court of Appeals of Indiana | Memorandum Decision 49A04-1703-JC-446 | August 18, 2017 Page 16 of 16